Robert Michael Caiaze

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Farmington, CT
• 11/2016 → 01/2018
  Wells Fargo Clearing Services, Llc
  Farmington, CT
• 01/2018 → Present
  Rbc Capital Markets, Llc.
  Farmington, CT
• 06/2020 → Present
  City National Bank
  Farmington, CT

Previous Registrations

• 2005-11-18 → 2018-01-30
  Wells Fargo Clearing Services, Llc
  Farmington, CT
  Hartford, CT
• 2000-12-01 → 2005-12-12
  Advest, Inc.
  Farmington, CT

Other Businesses

(1) VALLEY COMMUNITY BAPTIST CHURCH; ADDRESS: 590 W AVON RD, AVON, CT 06001; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: CAPACITY: DEACON FUND ADVISOR; START DATE: 2/19/2018; DUTIES: REVIEW APPLICATIONS TO THE DEACON FUN. MEET WITH THE APPLICANT AND GIVE BUDGETARY GUIDANCE IF NEEDED/ SUBMIT OBSERVATIONS OT THE DEACON COMMITTEE TO HELP IN THEIR DECISION; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (2) BRISTOL HOSPITAL; ADDRESS: 41 BREWSTER ROAD, BRISTOL, CT 06010; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: INVESTMENT COMMITTEE MEMBER; CAPACITY: COMMITTEE/COUNCIL MEMBER (NOT ASSOCIATED WITH THE BOARD OF DIRECTORS); START DATE: 2/19/2018; DUTIES: GENERAL INVESTMENT COMMITTEE DUTIES, REVIEW PERFORMANCE, REVIEW INVESTMENT ALLOCATION, CONFIRM COMPLIANCE TO THE IPS, MAKE CHANGES AS NEEDED; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) NAME OF ENTITY: Caiaze Family Investments, LLC ADDRESS: PO Box 1243 Burlington CT 06013 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Centralized management of family assets CAPACITY: Managing member START DATE: 6/16/2021 DUTIES: Management of investments HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Valley Community Baptist Church ADDRESS: 590 West Avon Rd, Avon CT INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Church CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 7/1/2021 DUTIES: Recommending policies, procedures, systems and controls over all aspects of finance, accounting and financial reporting. Recommending an annual budget to the Elder Board and presenting financial reports to the congregation HOURS DEVOTED PER MONTH: 2-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (5) NAME OF ENTITY: Ronald McDonald House Charities of Connecticut and Western Massachusetts ADDRESS: 860 Howard Ave New Haven CT 06519 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-profit CAPACITY: Board of Directors * START DATE: 1/12/2022 DUTIES: HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) Name of Entity: Ronald McDonald House Charities of CT and MA Non-Investment related Address of entity: 860 Howard Ave. New Haven CT 06519 Nature of OBA: Non-Profit Position/Title/Relationship: Other - Finance Committee Start Date: 03/31/23 Time Devoted: 1 hour; 1 hour during securities trading hours Duties: See committee charter attached (7) NAME OF ENTITY: Main Street Community Foundation ADDRESS: 120 Halcyon Dr. Bristol, CT 06010 INVESTMENT/NOT INVESTMENT RELATED: Investment Related BUSINESS DESCRIPTION: Non-Profit Community Foundation CAPACITY: Committee/Council Member (not associated with Board of Directors) * START DATE: 04/17/2020 DUTIES: Review performance, allocation with respect to the IPS and make changes in the portfolio as needed. HOURS DEVOTED PER MONTH: 1-2 hours quarterly HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 8) NAME OF ENTITY: Ronald Mcdonald House Charities of Ct And Western Ma, Inc. ADDRESS: 501 George St, New Haven, CT, 06511 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 01/04/2025 CAPACITY: Committee/Council Member DUTIES: Investment Committee Member/Chair - Review IPS, semi-annual meetings with the investment advisor to confirm the portfolio is managed within guidelines of IPS, review performance and report to the board as needed. HOURS DEVOTED PER MONTH: 0-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0-4

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-21
• S63 Uniform Securities Agent State Law Examination
  1997-11-21

Other Names

• Robert M Caize